- Citigroup (Getzville, NY)
- …regulatory filing preparation and submission of daily, weekly, and bi-weekly reports to OFR, FINRA , and FRB of NY. This role will also take part in routine ... Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA , and FR 2004 to the Federal Reserve. +...and external audits. + Maintain communication with the Business, Compliance , IT, and the Control & Reconciliation Group to… more
- US Bank (New York, NY)
- …business + Collaborate with other related support functions, such as Risk, Compliance and Regulatory Services + Work with senior leadership within the business ... Experience navigating relationships with regulatory authorities, especially the SEC and FINRA + Experience with broker-dealer corporate governance + Familiarity and… more
- Citigroup (New York, NY)
- …understanding of key product structures (mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 ... + Strong analytical and portfolio management skills, including risk management and compliance expertise. + Proven track record in client acquisition and business… more
- SMBC (White Plains, NY)
- …colleagues in other IT application and control functions including legal, compliance , data security and risk management to promote front-to-back collaboration across ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- BMO Financial Group (New York, NY)
- The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker-dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... would manage the implementation, maintenance and administration of the broker-dealer compliance programs. Broker-dealer businesses include. but are not limited to,… more
- KeyBank (Amherst, NY)
- …Road, Brooklyn Ohio **Job Description** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the ... and execution for testing designed to evaluate Key's ongoing compliance with applicable laws and regulations across Key's Asset...CFR 9, ERISA, Securities Acts of 1933 and 1934, FINRA Requirements, etc.) required to lead a team in… more
- TD Bank (New York, NY)
- …SEC, CFTC, NFA, FINRA , FCA, CIRO, etc.) and aligns with internal compliance policies. + Technology & Automation: Collaborate with Technology teams and the CDO to ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is committed to providing fair… more
- US Bank (New York, NY)
- …assistance to Relationship Managers, Portfolio Managers, product partners, and compliance teams to support ICG-Banking activities. This role requires advanced ... to ensure revenue-generating activities are executed effectively while maintaining strict compliance with regulatory and policy requirements. This banker also serves… more
- Raymond James Financial, Inc. (New York, NY)
- …key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies organizational ... ensure adherence to regulatory requirements. + Performs periodic reporting on compliance and operational issues, as required. + Identifies and makes recommendations… more
- Wells Fargo (New York, NY)
- …implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other ... platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more